C-TPAT - duplicate

• Audit Title

• Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Company name

• Address of corporate office or primary facility
  Address

• Number of employees

• Person responsible of the security in the company:

• Title

• Phone

• e-mail

Business partner activity

• What is the category that best describes the company?

  Select US importer US exporter US custom broker US/Mexico cross border highway carrier Third-party logistics (3PL) Foreign manufacturer US marine port authorities and terminal operator Foreign marine port authorities and terminal operator Air carrier Rail carrier Air freight consolidator

  • US importer
  • US exporter
  • US custom broker
  • US/Mexico cross border highway carrier
  • Third-party logistics (3PL)
  • Foreign manufacturer
  • US marine port authorities and terminal operator
  • Foreign marine port authorities and terminal operator
  • Air carrier
  • Rail carrier
  • Air freight consolidator

• DOT

• SCAC

• Yes

  No

  N/A

Participation on customs security initiatives

• C-TPAT certified

  Off

  On

• Please provide SVI#

• Current status

  Active

  Suspended

• NEEC certified

  Off

  On

• Certification date

  Date

Business partner security

• Does the company have business partner selection process?

  Yes

  No

  N/A

• Does the company conduct screening and background checks on prospective business partners?

  Yes

  No

  N/A

• Does the company conduct risk assessments to business partners?

  Yes

  No

  N/A

Container and trailer security

• Does the company verify the physical integrity of the container or the trailer upon arrival or departure US bound?

  Yes

  No

  N/A

• Is the 7-point or the 17-point inspection method used? **Photo evidence recommended

  Yes

  No

  N/A

• Does company use security seals exceeding current PAS ISO 17712 standards for high security seals? ** Photo evidence recommended

  Yes

  No

  N/A

• Does the company maintain a written record of the seals numbers in inventory and a log book identifying when a seal is used and the container number on which it was installed?

  Yes

  No

  N/A

• Are there written procedures to report unauthorized entry into containers or container storage areas to local law enforcement officials?

  Yes

  No

  N/A

• If unable to immediately dock the container and unload, is it stored in a secure area to prevent unauthorized access and/or tampering?

  Yes

  No

  N/A

• Turn on for carrier companies

  Off

  On

• Does the company sets geofences in all routes for US bound shipments?

  Yes

  No

  N/A

• Does the company have predetermined routes and know their times?

  Yes

  No

  N/A

• Does the company uses GPS systems to track shipments?

  Yes

  No

  N/A

Physical access control

• Is there an employee identification system, which provides for the positive identification of employees before they can enter the facility? ** Photo evidence recommended

  Yes

  No

  N/A

• Do employees have access only to those areas in which they perform their duties?

  Yes

  No

  N/A

• Does company maintain a written log in for visitors with their name, company, date of visit and time of arrival and departure? **Photo evidence recommended

  Yes

  No

  N/A

• Are visitors (Visits, vendors and mail service) required to present photo identification upon arrival?

  Yes

  No

  N/A

• Are visitors required to visibly display a temporary identification badge while on the premises? ** Photo evidence recommended

  Yes

  No

  N/A

• Are arriving packages and mail periodically screened before delivery within the company?

  Yes

  No

  N/A

• Are there procedures to challenge unauthorized/unidentified persons and to report problems to local law enforcement officials?

  Yes

  No

  N/A

Personnel security

• Does the company conduct pre-employment screening and background checks on prospective employees?

  Yes

  No

  N/A

• Does the company periodically conduct background checks on current employees based on cause and/or the sensitivity of the employee’s position?

  Yes

  No

  N/A

• Does the company verify the information provided by job applicants, including employment history and references?

  Yes

  No

  N/A

• Does the company have procedures to remove identification badges and to deny facility and information systems access for terminated employees?

  Yes

  No

  N/A

Procedural security

• Does company have procedures to ensure that all information related to shipments is protected against loss or the introduction of erroneous information?

  Yes

  No

  N/A

• Does company have procedures to ensure that all shipping documents are legible, complete and accurate?

  Yes

  No

  N/A

• Does the company have a designated employee to supervise that the loading/unloading of cargo from/to containers and trailers match with documents?

  Yes

  No

  N/A

• Does the company track the timeliness of incoming and outgoing cargo movements?

  Yes

  No

  N/A

• Are drivers delivering cargo positively identified before the shipment is accepted?

  Yes

  No

  N/A

• Does the company maintain a written log of the identity of drivers who deliver cargo and the number of the container or trailer that was delivered?

  Yes

  No

  N/A

• Are drivers picking up cargo positively identified before the shipment is released?

  Yes

  No

  N/A

• Does the company maintain a written log of the identity of drivers who pick up cargo and the number of the container or trailer that was picked up?

  Yes

  No

  N/A

• Does the company have procedures to resolve discrepancies?

  Yes

  No

  N/A

Physical security

• Are all buildings constructed of materials that resist unlawful entry and protect against outside intrusion? ** Photo evidence recommended

  Yes

  No

  N/A

• Are cargo handling and storage facilities enclosed by fencing? ** Photo evidence recommended

  Yes

  No

  N/A

• Does the company segregate high-value and/or dangerous cargo in a secure area within the warehouse or storage yard? ** Photo evidence recommended

  Yes

  No

  N/A

• Are the gates through which vehicles enter cargo handling and storage facilities manned and/or monitored at all times when the facility is open?

  Yes

  No

  N/A

• Are the entrance gates closed and locked when the facility is closed? ** Photo evidence recommended

  Yes

  No

  N/A

• Does the company use CCTV surveillance cameras to monitor the entrances to the facility and the cargo handling and storage areas? ** Photo evidence recommended

  Yes

  No

  N/A

• Is the recorded CCTV data recorded for at least 30 days or more?

  Yes

  No

  N/A

• Is the facility equipped with an alarm system to monitor the entrances to the facility? ** Photo evidence recommended

  Yes

  No

  N/A

• Is there adequate lighting inside and outside the facility, including parking areas, fence lines, entrances and exits, and cargo handling and storage areas? ** Photo evidence recommended

  Yes

  No

  N/A

• Are locking devices used to secure external and internal doors, windows, gates and fences? ** Photo evidence recommended

  Yes

  No

  N/A

• Are there separate parking areas for employee/visitor vehicles and the shipping/loading dock and cargo areas? ** Photo evidence recommended

  Yes

  No

  N/A

Information Technology (IT) security

• Are computer systems and the information stored on them protected against unauthorized access?

  Yes

  No

  N/A

• Does company use individually assigned accounts for personnel to access your information technology systems?

  Yes

  No

  N/A

• Do company require users to periodically change the passwords used to access your information technology systems?

  Yes

  No

  N/A

• Does company use firewalls to protect your information technology systems from unauthorized access from the internet?

  Yes

  No

  N/A

• Does company have a system to identify the abuse of your information technology systems including the improper access, tampering or altering of business data?

  Yes

  No

  N/A

Security training and threat awareness

• Does the company have an employee security training program? ** Photo evidence recommended

  Yes

  No

  N/A

• Does the company have a security awareness program to educate employees to recognize internal conspiracies, maintain cargo integrity and to identify and address security issues?

  Yes

  No

  N/A

• Does your security program encourage and reward employees for active participation in security programs? ** Photo evidence recommended

  Yes

  No

  N/A

Report of anomalies and suspicious activities

• Does the company have a procedure to report anomalies or suspicious activities?

  Yes

  No

  N/A